Asset Management Officer Resume Sample
Candida Nikolaus
7192 Taylor Dam,
Philadelphia,
PA
+1 (555) 369 7783
Work Experience
Asset Management Compliance Officer Associate
03/2018
-
PRESENT
Philadelphia, PA
- Meeting room equipment maintenance and prepare according to user’s request (make sure all meeting rooms are in good condition for the users),
- A recognised and relevant diploma qualification
- Common knowledge of IT products
- Team player, good inter-personal communication skills
- Possess well-organized working attitude
- A clear understanding of Asset Management and a sound technical knowledge of regulatory issues – including retail and institutional clients
- A background in Product/Sales and Distribution Compliance
- A clear understanding and experience of Retail Customer Outcomes; Knowledge of UCITS, AIFMD and MiFID. Experience of working with Life Funds advantageous
Asset Management Officer
10/2013
-
11/2017
Dallas, TX
- Support the businesses in developing appropriate controls and procedures to address and mitigate regulatory risks as part of the firm’s Compliance Control Framework
- Assisting with the design and implementation of monitoring electronic exception reports and tools for JPMAM’s businesses in EMEA
- Developing and maintaining a broad knowledge of the Firm’s business and regulatory framework in which it operates
- Reviewing AM specific marketing material and client communications for compliance with regulatory requirements in addition to the Bank’s policies and standards for communications and marketing material
- Performing some Compliance Monitoring / Surveillance testing where applicable for the AM businesses as part of the Bank’s Second Level Controls
- Collaborate with stakeholders to obtain missing information on assets
- Single point of contact representing APAC ITO Corporate Banking IT for assets’ matters and roll out initiatives by group
- Author, maintains and enforces Standard Operating Procedures for on-boarding of new and sunset assets
Junior Compliance Officer Asset Management
08/2006
-
08/2013
Detroit, MI
- The ability to communicate at all levels throughout the Company and the confidence to deal with external bodies; be able to work on their own initiative, decision making and under pressure
- Good IT skills (Word; Excel; PowerPoint)
- A good understanding of Asset Management and a sound technical knowledge of regulatory issues. Would ideally like to see at least three years' experience in asset management compliance roles
- Understanding of traditional and alternative asset management – UCITS, AIFs etc
- An analytical approach and the ability to provide practical solutions
- The ability to communicate at all levels throughout the Company and the confidence to deal with external bodies (clients, regulators & auditors)
- Be able to work on their own initiative and under pressure
- Provide advisory Compliance support to the Business by assisting the guideline monitoring team and guideline implementation team in resolving open issues in the firm’s order management and trading systems
- Perform and support compliance control framework risk assessments used to develop appropriate controls and procedures for addressing and mitigating regulatory risks as part of the Bank’s Compliance Control Framework
Education
Northwood University - Florida Campus
2001 - 2005
Bachelor's Degree in Management
Professional Skills
- Superior verbal and written communications skills along with strong presentation and executive reporting skills
- Strong computer skills and experience with financial modeling and familiarity with Argus
- Stakeholder and customer communication skills
- Civil engineering construction, maintenance and/or design experience
- Project Management and/or Planning experience would be an advantage
- Civil engineering experience in road construction and/or road maintenance
- Strong problem-solving orientation, and have the ability to identify and execute a strategic solution
How to write Asset Management Officer Resume
Asset Management Officer role is responsible for reporting, modeling, travel, retail, finance, credit, training, database, compensation, trading.
To write great resume for asset management officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Asset Management Officer Resume
The section contact information is important in your asset management officer resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Asset Management Officer Resume
The section work experience is an essential part of your asset management officer resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous asset management officer responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular asset management officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Asset Management Officer resume experience can include:
- Establish residual and collateral values for proposed lease transactions and collateral values for loan transactions across a broad spectrum of asset types and industries
- Experience in designing and developing surveillance reviews around new or expanding business areas
- Proven track record in a LOB Compliance Surveillance and Employee Compliance role
- Willing and flexible to travel
- Assist in monitoring and maintaining compliance with all SF, Bank and other regulatory policies
- Work with property management and leasing teams in the development and approval of annual operating budgets
Education on an Asset Management Officer Resume
Make sure to make education a priority on your asset management officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your asset management officer experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Asset Management Officer Resume
When listing skills on your asset management officer resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical asset management officer skills:
- Experience in analysis of road data
- Significant experience in Asset Management in a similar role
- Financial services compliance experience, preferably in a similar role
- Organize and prioritize in a fast paced environment with attention to accuracy and detail
- Prepare and execute annual strategic business plan for each property, including leasing goals, operating budgets, capital project plans, hold/sell analysis
- Support the team’s participation in division-wide working groups covering areas such as regulatory reform initiatives
List of Typical Skills For an Asset Management Officer Resume
1
Skills For SVP Compliance Officer Asset Management Resume
- Opportunity to maintain, oversee, develop and execute the compliance program (incl. policies, training, monitoring and enforcement)
- Sound documentation and record keeping
- Sound documentation, data management and record keeping
- Research, analysis and problem solving
- An interesting and challenging position, providing advice to the Asset Management front office areas in specific compliance matters, in an international environment and the opportunity to play an active role in a motivated and dynamic team focused mainly in the field of Asset Management
- Chance to provide independent oversight and control over compliance and regulatory risks relating to Asset Management
- Monitor business activities on all levels based on regular and ad-hoc compliance risk assessments (incl. exercise of routine controls and thematic reviews)
- Support the business in developing appropriate controls and procedures to mitigate business and product specific risks
- Knowledge and understanding of financial advisory services, policies, procedures and compliance processes
2
Skills For Asset Management Compliance Officer Associate Resume
- Provide structured and regular analysis of potential area of risk
- Opportunity to work in close collaboration and coordination with Legal Counsel colleagues in Switzerland and abroad (e.g. as part of working groups and projects)
- Chance to provide proactive and ongoing guidance on, among others, existing Swiss and relevant foreign laws and regulations, regulatory developments, specific transaction, supervisory and governance structures and practices, existing and new products as well as new business initiatives
- Provides support as directed to the Compliance Teams within Scotiabank’s Asset Management division to assist with day-to-day compliance functions and the development, evaluation, updating and administration of Compliance policies, procedures, training and reference materials, systems and manual processes
- Review and approve internal and external sales communications, marketing material, and investment communications to help ensure compliance with National Instrument 81-102 and required disclosures and disclaimers for the asset management business units and entities
- Participate in the training and education of staff as it relates to regulatory requirements and internal policies and procedures
- Monitor, approve, decline posts destined for the Social Media platforms
3
Skills For Compliance Officer, Asset Management Resume
- Ensures that compliance review procedures are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken
- Serve as a compliance resource and respond to compliance queries from the various business units in the Asset Management division
- Work with the businesses to provide constructive input with regards to new initiatives such as product launches from a compliance perspective
- Manage special compliance projects as required
- Prepare materials in response to regulatory inquiries, examinations and investigations
- Assist in identifying gaps in the existing compliance program and participates in developing, maintaining and implementing changes to the firm's compliance practices, policies and procedures
- Contribute to the development of the business’s control framework
- Conduct research on new regulations and assist in determining applicability to the business; maintain a tracking log of the business’ progress in implementing new regulations; record action items in the firm’s internal tracking system; draft summaries of new regulations and impact to the business
- Thorough and up to date understanding and practical experience of Asset Management Fixed Income and Equity trading systems and processes, including programme trading, direct market access and algorithmic trading
4
Skills For Asset Management Compliance Officer Resume
- Experience of conflicts related reviews
- Experience of warehouse management
- Be familiar with PeopleSoft or other ERP/Asset Management software
- Be familiar with Asset Management methodology
- Bilingualism, Chinese-English, spoken & written
- Knowledge of road construction and maintenance practices
5
Skills For Asset Management Compliance Compliance Officer Associate Resume
- IFIC and/or CSC designation an asset
- Liaises with the BRCMs in assisting them to facilitate the identification of risks, and reviewing their testing programs to identify risk, evaluate, assess, mitigate, and identify controls to mitigate media, legal, regulatory and customer impact in the carrying out of the AMUS day to day business operation
- Embraces the SERM Framework and provides compliance guidance on Governance and Monitoring, Policies and Procedures, Information Systems and Reporting, Risk Assessment and Response, Risk Identification, Risk Appetite and Objective Setting and on People, Culture and Communication
- Embraces and promotes the HSBC Values of being dependable and do the right thing, be open to different ideas and cultures and be connected to customers, communities, regulators and each other
- Supports RCR Project and other Global initiatives to comply with regulations impacting business. Implements remedial plans and in a timely manner to mitigate risks associated with not having policies, procedures or controls in place to comply with regulations identified as applicable
- Have appropriate policies, procedures, and controls that mitigate incidents that might result in a financial impact on the organization from commercial or regulatory perspective
- Perform compliance monitoring and regulatory reporting
6
Skills For Compliance Officer Business Aligned Global Asset Management UK Resume
- Review monthly operating/financial performance, variance analysis and operating/capital project status
- Review KYC and Marketing Materials
- Prepare compliance and risk reporting to management
- Provide support and arrange for the remarketing of repossessed equipment
- Assist in the development of systems support and reporting for all Asset Management activities
7
Skills For Risk & Asset Management Officer Resume
- Manage day to day operations of existing and future assets
- Observes HNAH’s Statement of Business Principles and Code of Ethics
- Monitor changes in regulations and group policies and support gap analysis
- Participate in various local and regional projects
- Advise business units on relevant rules and regulations relating to sales and marketing, portfolio management and trading, licensing, financial crime, code of ethics and other core compliance areas
- Responsible for annual review and update of equipment value matrices, list of approved third party suppliers as well as FASB 13 review
- Undertake special projects such as documentation review focusing on Maintenance & Return Provisions,suggest and create new Equipment Codes for improved asset tracking and reporting, and any other projects that enhance both the Asset Management processes and SF as a whole
8
Skills For Compliance Officer Asset Management Resume
- Evaluate new equipment target markets and provide support for new investment opportunities
- Assist in all disposition activities, including the tracking, monitoring and negotiating of Early Buyouts (EBO) and end of term residuals as well as the remarketing of off lease equipment
- Perform physical inspections as necessary
- Collaborate with Team Members and business partners
- Creatively add value and carry out strategic goals at the property level through leasing, property management, implementation of capital improvements, as well as working with transactions teams on sourcing, underwriting and closing acquisitions and developments
- Select and lead third party vendors (leasing agents, property managers, etc.)
9
Skills For Asset Management Compliance Trade Suveillance Compliance Officer Associate Resume
- Responsible for oversight and delivery of all monthly and quarterly reports for clients
- Complete annual valuations for the properties and review quarterly valuations as required
- Develop and implement a plan for tenant engagement
- Work with transactions team on identification and execution of dispositions
- Excellent leadership ability, be a confident communicator with the level of maturity and presence necessary to interact with the senior management of the firm, as well as joint venture partners and external constituents
10
Skills For Equipment Finance Senior Asset Management Officer Resume
- Coordinate compliance training
- Equipment/Customer/Client Industry knowledge
- Monitor the Dynamic Sales Team sales practices program for compliance with National Instrument 81-105, and initiating investigations in relation to situations requiring corrective action and/or issuing compliance violation notices, escalating to the Senior Manager, Compliance, Asset Management and to the appropriate business unit for action where required
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